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FINRA Awards for John Baker

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0081806/03/2019Claimant(s): John Baker
Claimant Lawyers(s): David Liebrader
Respondent(s): Morgan Stanley, Peter Lewis
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Larry Edmonson, Anita Rae Shapiro, Douglas B. Harris
Hearing Site: Las Vegas, NV
Checkmark IconExpungement
09-0676206/23/2011Claimant(s): Harriet Baker, John Baker, Natalie Baker
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Bernard A. Friedman, Bernard Korman, James Sloan Altschul
Hearing Site: New York, NY
Checkmark Icon$880,000
09-0231310/15/2009Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): John Baker
Respondent Lawyers(s): John Robert Baker
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Philadelphia, PA

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